August 01, 2016 BY Valentina Kirilova

OSC approves no-contest agreement with Scotia Capital Inc., Scotia Securities Inc. and HollisWealth Advisory Services Inc.

The Ontario Securities Commission (OSC) has approved a no-contest settlement agreement with Scotia Capital Inc., Scotia Securities Inc. and HollisWealth Advisory Services Inc. (the Scotia Dealers) in relation to a matter that the Scotia Dealers discovered and self-reported to the OSC and that resulted in certain clients paying excess fees. This settlement follows allegations by OSC…

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